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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2006-10-03
TN RA APPROVED 2004-03-11
  • TX RA
    APPROVED_RES
    Since 2006-10-03
  • TN RA
    APPROVED
    Since 2004-03-11

Branch Locations

9724 Kingston Pike Ste 1010, Knoxville, TN 37922 • United States

Knoxville, TN • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Knoxville TN 02/1993 03/2020
Ameriprise Financial Services, Llc Knoxville TN 03/2020 Present
Other Businesses

Real Estate Ownership; Vacation Villa/rental property; 2916 Atrium VillasSeabrook Island, South Carolina, ,; ; .

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-02-08
S63 Uniform Securities Agent State Law Examination 1993-03-31
  • S65 Uniform Investment Adviser Law Examination
    1994-02-08
  • S63 Uniform Securities Agent State Law Examination
    1993-03-31

View on SEC IAPD

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